20-F/A
As filed with the Securities and Exchange Commission on 23 April 2018
UNITED STATES
SECURITIES
AND EXCHANGE COMMISSION
Washington, D.C. 20549
Form 20-F/A
(Amendment No. 1)
(Mark One)
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REGISTRATION STATEMENT PURSUANT TO SECTION 12(b) OR 12(g) OF THE SECURITIES EXCHANGE ACT OF 1934 |
or
| ☒ |
ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 |
For the fiscal year ended 31 December 2017
or
| ☐ |
TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 |
For the transition period from to
or
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SHELL COMPANY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 |
Date of event requiring this shell company report
For the transition period from to
Commission file number: 1-31318
Gold Fields
Limited
(Exact name of registrant as specified in its charter)
Republic of South Africa
(Jurisdiction of incorporation or organization)
150 Helen Road
Sandown,
Sandton, 2196
South Africa
011-27-11-562-9700
(Address of principal executive offices)
with a copy to:
Taryn L. Harmse
Executive
Vice-President: Group General Counsel
Tel: 011-27-11-562-9724
Fax: 011-27-86-720-2704
Taryn.Harmse@goldfields.com
150 Helen Road
Sandown,
Sandton, 2196
South Africa
(Name, Telephone, E-mail and/or Facsimile number and Address of Company Contact Person)
and
Thomas B. Shropshire,
Jr.
Linklaters LLP
Tel:
011-44-20-7456-2000
Fax:
011-44-20-7456-2222
One Silk Street
London
EC2Y 8HQ
United Kingdom
Securities registered or to be registered pursuant to Section 12(b) of the Act
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| Title of Each
Class |
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Name of Each Exchange on
Which Registered |
Ordinary shares of no par value each
American Depositary Shares, each representing one ordinary share |
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New York Stock Exchange*
New York Stock Exchange |
| * |
Not for trading, but only in connection with the registration of the American Depositary Shares pursuant to the requirements of the Securities and Exchange Commission. |
Securities registered or to be registered pursuant to Section 12(g) of the Act
None
(Title of Class)
Securities for which there is a reporting obligation pursuant to Section 15(d) of the Act
None
(Title of Class)
Indicate the number of outstanding shares of each of the issuer’s classes of capital or
common stock as of the close of the period covered by the Annual Report
821,532,707 ordinary shares of no par value
Indicate by check mark if the
registrant is a well-known seasoned issuer, as defined in Rule 405 of the Securities Act: Yes ☒ No ☐
If this report is an annual or transition report, indicate by check mark if the registrant is not required to file reports pursuant to Section 13 or 15(d)
of the Securities Exchange Act of 1934. ☐ Yes No ☒
Note—Checking the
box above will not relieve any registrant required to file reports pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 from their obligations under those Sections.
Indicate by check mark whether the registrant (1) has filed all reports required to be filed by Section 13 or 15(d) of the Securities Exchange Act of
1934 during the preceding 12 months (or for such shorter period that the registrant was required to file such reports), and (2) has been subject to such filing requirements for the past 90
days. ☒ Yes No ☐
Indicate by check mark whether the registrant has
submitted electronically and posted on its corporate Web site, if any, every Interactive Data File required to be submitted and posted pursuant to Rule 405 of Regulation S-T (§232.405 of this chapter)
during the preceding 12 months (or for such shorter period that the registrant was required to submit and post such files). ☒ Yes No ☐
Indicate by check mark whether the registrant is a large accelerated filer, an accelerated filer, a non-accelerated
filer, or an emerging growth company. See definition of “large accelerated filer,” “accelerated filer,” and “emerging growth company” in Rule 12b-2 of the Exchange Act. (Check
one):
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| Large accelerated filer ☒ |
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Accelerated filer ☐ |
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Non-accelerated filer ☐ |
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Emerging growth company ☐ |
If an emerging growth company that prepares its financial statements in accordance with U.S. GAAP, indicate by check mark if the
registrant has elected not to use the extended transition period for complying with any new or revised financial accounting standards† provided pursuant to Section 13(a) of the Exchange Act. ☐
† The term “new or revised financial accounting standard” refers to any update issued by the Financial Accounting Standards Board to its
Accounting Standards Codification after April 5, 2012.
Indicate by check mark which basis of accounting the registrant has used to prepare the
financial statements included in this filing:
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| U.S. GAAP ☐ |
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International Financial Reporting Standards as issued by the International Accounting Standards Board ☒ |
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Other ☐ |
If “Other” has been checked in response to the previous question, indicate by check mark which financial statement
item the registrant has elected to follow: Item 17 ☐ Item 18 ☐
If this is an
annual report, indicate by check mark whether the registrant is a shell company (as defined in Rule 12b-2 of the Exchange
Act). Yes ☐ No ☒
(APPLICABLE ONLY TO ISSUERS INVOLVED IN
BANKRUPTCY PROCEEDINGS DURING THE PAST FIVE YEARS)
Indicate by check mark whether the registrant has filed all documents and reports required to be filed
by Sections 12, 13 or 15(d) of the Securities Exchange Act of 1934 subsequent to the distribution of securities under a plan confirmed by a court. Yes ☐ No ☐
Explanatory Note
Gold Fields Limited is filing this Amendment No. 1 (“Form 20-F/A”) to its annual report on Form 20-F (“Form 20-F”) for the fiscal year ended December 31, 2017, to submit the Interactive Data File (as defined in Rule 11 of Regulation S-T) with respect to the audited consolidated financial statements of Gold Fields Limited (as defined in Form 20-F) for that fiscal year as an exhibit to Form 20-F pursuant to paragraph 101 under “Instructions as to Exhibits” of Form 20-F in accordance with Rule 405 of Regulation
S-T.
Other than as expressly set forth below, this Form 20-F/A does not,
and does not purport to, amend, update or restate the information in any Item of the Form 20-F.
GOLD FIELDS LIMITED – EXHIBIT LIST
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| No. |
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Exhibit |
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| 1.1 |
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Memorandum of Association of Gold Fields (incorporated by reference to Exhibit 1.1 to the registration statement on Form 20-F (File No. 1-31318),
filed by Gold Fields with the Securities and Exchange Commission on 6 May 2002)(P) |
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| 1.2 |
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Articles of Association of Gold Fields (incorporated by reference to Exhibit 1.2 to the registration statement on Form 20-F (File No. 1-31318),
filed by Gold Fields with the Securities and Exchange Commission on 6 May 2002)(P) |
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| 1.3 |
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Amended Articles of Association of Gold Fields (incorporated by reference to Exhibit 1.3 to the annual report on Form 20-F (File No. 1-31318), filed by Gold Fields with the Securities and Exchange Commission on 7 December 2007) |
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| 1.4 |
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Amended Memorandum of Incorporation of Gold Fields (previously filed by Gold Fields with the Securities and Exchange Commission as Exhibit 1.4
to the annual report on Form 20-F (File No. 1-31318) on 4 April 2018) |
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| 2.1 |
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Memorandum of Incorporation of Gold Fields (included in Exhibits 1.1 and 1.2)(P) |
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| 2.2 |
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Deposit Agreement among Gold Fields, Gold Fields Limited (f/k/a/Driefontein Consolidated Limited), The Bank of New York, as depositary, and the owners and beneficial owners from time to time of American Depositary Receipts, dated as
of 2 February 1998, as amended and restated as of 21 May 2002 (incorporated by reference to Exhibit 2.3 to the annual report on Form 20-F
(File No. 1-31318), filed by Gold Fields with the Securities and Exchange Commission on 24 October 2002)(P) |
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| 2.3 |
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Form of American Depositary Receipt (included in Exhibit 2.2)(P) |
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| 2.4 |
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Amended Memorandum of Incorporation of Gold Fields (included in Exhibit 1.3) |
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| 2.5 |
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Trust Deed among Orogen, as issuer; Gold Fields Limited, GFIMSA, GFO, and GFH, as guarantors; and Citicorp Trustee Company Limited, as trustee, dated
7 October 2010 in relation to the U.S.$1 billion Note Issue (incorporated by reference to Exhibit 2.8 to the annual report on Form 20-F (File
No. 1-31318), filed by Gold Fields with the Securities and Exchange Commission on 2 December 2010) |
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| 2.6 |
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Supplemental Trust Deed among Orogen, as issuer; Gold Fields, GFO, and GFH, as guarantors; Sibanye Gold Limited and Citicorp Trustee Company Limited,
as trustee, dated 24 April 2015 in relation to the U.S.$1 billion Note Issue (incorporated by reference to Exhibit 2.6 to the annual report on Form 20-F (File
No. 1-31318), filed by Gold Fields with the Securities and Exchange Commission on 13 April 2016) |
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| 2.7 |
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Amended Memorandum of Incorporation of Gold Fields, adopted by Special Resolution on 14
May 2012 (incorporated by reference to Exhibit 2.6 to the annual report on Form 20-F (File No.
1-31318), filed by Gold Fields with the Securities and Exchange Commission on 14 May 2013) |
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| 4.1 |
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The Gold Fields Limited 2005 Non-Executive Share Plan, adopted 17
November 2005 (incorporated by reference to Exhibit 4.24 to the annual report on Form 20-F (File No.
1-31318), filed by Gold Fields with the Securities and Exchange Commission on 22 December 2005) |
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| 4.2 |
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The Gold Fields Limited 2005 Share Plan, adopted 17
November 2005 (incorporated by reference to Exhibit 4.25 to the annual report on Form 20-F (File No.
1-31318), filed by Gold Fields with the Securities and Exchange Commission on 22 December 2005) |
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| 4.3 |
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The Gold Fields Limited 2012 Share Plan, dated 14 May 2012 (incorporated by reference to Exhibit 4.6 to the annual report on Form 20-F (File No. 1-31318), filed by Gold Fields with the Securities and Exchange Commission on 14 May 2013)
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| No. |
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Exhibit |
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| 4.4 |
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Agreement between Nicholas J. Holland and Gold Fields Group Services (Pty) Ltd, dated 6 March 2009 and effective 1
March 2009 (incorporated by reference to Exhibit 4.29 to the annual report on Form 20-F (File No.
1-31318), filed by Gold Fields with the Securities and Exchange Commission on 3 December 2009) |
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| 4.5 |
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Agreement between Nicholas J. Holland and Gold Fields Ghana Holdings (BVI) Limited, dated 9 March 2009 and effective 1
March 2009 (incorporated by reference to Exhibit 4.30 to the annual report on Form 20-F (File No.
1-31318), filed by Gold Fields with the Securities and Exchange Commission on 3 December 2009) |
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| 4.6 |
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Agreement between Nicholas J. Holland and Gold Fields Orogen Holding Company (BVI), dated 6 March 2009 and effective 1
March 2009 (incorporated by reference to Exhibit 4.31 to the annual report on Form 20-F (File No.
1-31318), filed by Gold Fields with the Securities and Exchange Commission on 3 December 2009) |
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| 4.7 |
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Agreement between Nicholas J. Holland and Gold Fields Group Services (Pty) Ltd, dated 9 April 2010 and effective 1
April 2010 (incorporated by reference to Exhibit 4.29 to the annual report on Form 20-F (File No.
1-31318), filed by Gold Fields with the Securities and Exchange Commission on 2 December 2010) |
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| 4.8 |
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Agreement between Nicholas J. Holland and Gold Fields Ghana Holdings (BVI) Limited, dated 9 April 2010 and effective 1
April 2010 (incorporated by reference to Exhibit 4.30 to the annual report on Form 20-F (File No.
1-31318), filed by Gold Fields with the Securities and Exchange Commission on 2 December 2010) |
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| 4.9 |
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Agreement between Nicholas J. Holland and Gold Fields Orogen Holding Company (BVI), dated 9 April 2010 and effective 1
April 2010 (incorporated by reference to Exhibit 4.31 to the annual report on Form 20-F (File No.
1-31318), filed by Gold Fields with the Securities and Exchange Commission on 2 December 2010) |
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| 4.10 |
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U.S.$200
million Revolving Senior Secured Credit Facility Agreement between The Bank of Nova Scotia, Scotiabank Peru S.A.A., Scotiabank Europe Plc and La Cima, dated 16 December 2014 (incorporated by reference to Exhibit
4.10 to the annual report on Form 20-F (File No. 1-31318), filed by Gold Fields with the Securities and Exchange Commission on 14 April 2015) |
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| 4.11 |
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Revolving Credit Facility Agreement among Nedbank Limited, GFI Joint Venture Holdings (Proprietary) Limited, GFO and the Original Guarantors
(listed in Schedule 1), dated 1 March 2013 (incorporated by reference to Exhibit 4.28 to the annual report on Form 20-F (File No. 1-31318), filed by
Gold Fields with the Securities and Exchange Commission on 14 May 2013) |
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| 4.12 |
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Agreement between Paul A. Schmidt and Gold Fields Group Services (Pty) Ltd, dated 24 November 2009 and effective 6
November 2009 (incorporated by reference to Exhibit 4.33 to the annual report on Form 20-F (File No. 1 -31318), filed by Gold Fields with the Securities and Exchange Commission on 3
December 2009) |
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| 4.13 |
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Agreement between Paul A. Schmidt and Gold Fields Ghana Holdings (BVI) Limited, dated 24 November 2009 and effective 6
November 2009 (incorporated by reference to Exhibit 4.34 to the annual report on Form 20-F (File No. 1 -31318), filed by Gold Fields with the Securities and Exchange Commission on 3
December 2009) |
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| 4.14 |
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Agreement between Paul A. Schmidt and Gold Fields Orogen Holding Company (BVI), dated 24 November 2009 and effective 6
November 2009 (incorporated by reference to Exhibit 4.35 to the annual report on Form 20-F (File No. 1 -31318), filed by Gold Fields with the Securities and Exchange Commission on 3 December 2009)
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| No. |
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Exhibit |
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| 4.15 |
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First Addendum to the Employment Contract made and entered into between Gold Fields Group Services (Pty) Ltd and Paul A. Schmidt, dated 1
April 2010 (incorporated by reference to Exhibit 4.40 to the annual report on Form 20-F (File No. 1 -31318), filed by Gold Fields with the Securities and Exchange Commission on 2 December 2010)
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| 4.16 |
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First Addendum to the Employment Contract made and entered into between Gold Fields Ghana Holdings (BVI) Limited and Paul A. Schmidt, dated 1 April
2010 (incorporated by reference to Exhibit 4.41 to the annual report on Form 20-F (File No. 1 -31318), filed by Gold Fields with the Securities and Exchange Commission on 2 December 2010)
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| 4.17 |
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First Addendum to the Employment Contract made and entered into between Gold Fields Orogen Holding Company (BVI) and Paul A. Schmidt, dated 1 April
2010 (incorporated by reference to Exhibit 4.42 to the annual report on Form 20-F (File No. 1 -31318), filed by Gold Fields with the Securities and Exchange Commission on 2 December 2010)
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| 4.18 |
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U.S.$1,290,000,000 Credit Facilities Agreement between The Bank of Tokyo-Mitsubishi UFJ, Ltd., GFI Joint Venture Holdings Proprietary Limited,
Gold Fields Operations Limited, Gold Fields Orogen Holding (BVI) Limited, Gold Fields Ghana Holdings (BVI) Limited and the Original Guarantors (listed in Schedule 1), dated 6 June 2016 (incorporated by reference to Exhibit 4.18 to the
annual report on Form 20-F (File No. 1-31318), filed by Gold Fields with the Securities Exchange Commission on 5 April 2017) |
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| 4.19 |
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The Sale Agreement—Gruyere Project between Gold Road Resources Limited, Gruyere Mining Company Pty Ltd and Gold Fields Australia Pty Ltd
dated 6 November 2016 (incorporated by reference to Exhibit 4.19 to the annual report on Form 20-F (File No. 1-31318), filed by Gold Fields with the
Securities Exchange Commission on 5 April 2017) |
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| 4.20 |
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Gruyere Project Joint Venture Agreement between Gruyere Mining Company Pty Ltd, Gold Road Resources Limited and others dated 6
December 2016 (incorporated by reference to Exhibit 4.20 to the annual report on Form 20-F (File No.
1-31318), filed by Gold Fields with the Securities Exchange Commission on 5 April 2017) |
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| 4.21 |
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Rand 500,000,000 Revolving Credit Facility Agreement between ABSA Bank Limited, GFI Joint Venture Holdings Proprietary Limited, Gold Fields Operations
Limited and the Original Guarantors (listed in Schedule 1), dated 27 March 2017 (incorporated by reference to Exhibit 4.21 to the annual report on Form 20-F (File
No. 1-31318), filed by Gold Fields with the Securities Exchange Commission on 5 April 2017) |
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| 4.22 |
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Rand 500,000,000 Revolving Credit Facility Agreement between The Standard Bank of South Africa Limited, GFI Joint Venture Holdings Proprietary
Limited, Gold Fields Operations Limited and the Original Guarantors (listed in Schedule 1), dated 27 March 2017 (incorporated by reference to Exhibit 4.22 to the annual report on Form 20-F (File No. 1-31318), filed by Gold Fields with the Securities Exchange Commission on 5 April 2017) |
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| 4.23 |
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Gruyere Syndicated Facility between Gold Fields Limited, Gruyere Holdings Pty Ltd, certain wholly owned subsidiaries of Gold Fields, the Financial
Institutions listed in Part II of Schedule 1, the Financial Institutions listed in Part III of Schedule 1 and the Commonwealth Bank of Australia, dated 24 May 2017 (previously filed by Gold Fields with the Securities and Exchange Commission as
Exhibit 4.23 to the annual report on Form 20-F (File No. 1-31318) on 4 April 2018) |
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| 4.24 |
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Gruyere Bank Guarantee Facility between Gold Fields Limited, Gruyere Holdings Pty Ltd, certain wholly owned subsidiaries of Gold Fields and Australia
and New Zealand Banking Group Limited, Commonwealth Bank of Australia, Westpac Banking Corporation, dated 24 May 2017 (previously filed by Gold Fields with the Securities and Exchange Commission as Exhibit 4.24 to the annual report on Form
20-F (File No. 1-31318) on 4 April 2018) |
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| 8.1 |
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Amended list of subsidiaries of the registrant (previously filed by Gold Fields with the Securities and Exchange Commission as Exhibit 8.1 to
the annual report on Form 20-F (File No. 1-31318) on 4 April 2018) |
SIGNATURES
The registrant hereby certifies that it meets all of the requirements for filing on Form 20-F and that
it has duly caused and authorized the undersigned to sign this Form 20-F/A on its behalf.
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| GOLD FIELDS LIMITED |
|
| /s/ Nicholas J. Holland |
| Name: Nicholas J. Holland |
| Title: Chief Executive Officer |
| Date: 23 April 2018 |